Series 65: Prohibited Mutual Fund Practices

Taken from our Series 65 Online Guide

Prohibited Mutual Fund Practices

Breakpoint sales. Because breakpoints can be confusing to investors, registered representatives should help their clients understand and take advantage of breakpoints. If the investor is a few dollars shy of a breakpoint, the representative should advise the investor of this, even if it means the commission is reduced. When a rep fails to do this and sells a mutual fund to a client in an amount

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